Talk:Registered investment adviser

Page contents not supported in other languages.
From Wikipedia, the free encyclopedia

This is an old revision of this page, as edited by Flaming (talk | contribs) at 01:46, 10 July 2015 (Flaming moved page Talk:Registered Investment Advisor to Talk:Registered Investment Adviser: spelling in US law is "adviser"). The present address (URL) is a permanent link to this revision, which may differ significantly from the current revision.

the SEC spells it Adviser -- with an e.

Some one with editing authority fix ths.

The only thing that can be a Registered Investment Adviser is a company such as an C corp or an LLC, an individual can not be a Registered Investment Adviser. Companies are supposed to be forbidden from using the term "RIA" in their descriptions of themselves to avoid confusion. However, an individual who pass the appropriate exams and works for a Registered Investment Advisery Firm is termed an Investment Advising Representative. Confusing, but that is what the 65&66 exams say. To add further confusion a firm an be considered an "IA".

Registered Investment Adviser = NON HUMAN,C-Corp, LLC Investment Advising Representative = Person

Removed external links

I removed some external links. One was a link to investopedia which could be used as a source but didn't appear to add anything to the article. One was a link to an advisor's commercial site. A couple were links to sites that listed or evaluated advisors which is not what this project is about. One is a link to the SEC that could be used as a source for article content but is inappropriate for the EL section. I've copied tat one here:

Jojalozzo 19:30, 24 January 2014 (UTC)[reply]